We Work to Protect Investors. Join our Team.
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Governance Analyst opening in Washington, D.C. To be considered for this position, please submit your resume through our careers site at http://www.finra.org/careers
– no phone calls, please.
Job Summary:
This position performs a variety of specific duties in support of the Office of Corporate Secretarys (OCS) operations and functions including a broad range of research and technical duties, facilitating FINRA Board of Governors (Board) meetings and, ensuring confidence in the FINRA election processes.
The incumbent works independently on many projects and assists with training and supervision of junior level staff. The incumbent has demonstrated strong project management skills and expert knowledge of corporate governance procedures enabling him or her to work independently on complex and sensitive research projects and ad hoc reports on a regular basis.
Additionally, the incumbent demonstrates an advanced mastery of the election processes and expertise in corporate governance procedures of the Executive Offices.
Essential Job Functions:
Supports FINRAs Board of Governors
* Drafts, proofreads and cite checks documents prepared by OCS for the Board and for internal distribution, verifying facts and ensuring that documents are in proper form and distributed properly to recipients.
* Facilitates the timely production and distribution of
Board and committee kits, orientation and reference material.
Receives, compiles, and organizes information for the preparation of key elements of board meeting documents for distribution to the FINRA Board.
The incumbent reviews and edits documents received from senior staff ensuring that all documents are in accordance with required format, grammar, and accuracy.
Incumbent also drafts documents based on direction/guidance provided by senior staff. Drafts and tracks proposed actions approved by the Board at meetings and via unanimous written.
* Creates procedures and automated document templates to efficiently generate annual agenda items in corporate tracking system and MS Word.
* With minimal supervision, coordinates the assembly, copying and mailing of board materials by collaborating with staff from other departments and copy vendors.
Ensures meeting materials are distributed in proper form to all Board members and internal staff in accordance with the requirements of departmental and corporate document security procedures.
* Attends Board and committee meetings as needed to provide support to OCS by tracking attendance, ensuring that meeting quorum requirements are met, managing meeting handouts and other tasks as needed.
Drafts meeting summaries and minutes.
Manages FINRA Elections Processes
* Supports the Associate Director of Corporate Governance in administering the FINRA Board, Small Firm Advisory Committee, National Adjudicatory Council and Committee elections.
Acts as a project manager for these elections by developing and monitoring election timelines and deadlines to ensure that the FINRA elections are effectively managed in accordance with departmental procedures and FINRAs by-laws.
Collaborates with staff from other departments and the inspector of elections in meeting all election deadlines.
* Serves as a departments point of contact for potential candidates and FINRA firms during elections, responding to inquiries on candidate and member firm questions and serving as a knowledgeable resource for information regarding election procedures, FINRA rules and by-laws. The incumbent performs these functions with minimal supervision, researches novel issues independently and drafts written responses for the department.
Takes the lead to trains more junior staff on responding to inquiries.
* Assist with the execution of FINRAs annual and special meetings, whereby at which board members are elected.
Corporate Governance and Compliance
* Ensures Board and standing committee composition comply at all times with balancing requirements set forth in FINRA by-laws, committee charters and delegation plan.
The incumbent oversees the distribution and collection of annual Board and committee member questionnaires.
The incumbent reviews and analyzes completed questionnaires to ensure that Board and committee composition complies with relevant governance standards for the Board, its standing committees and relevant advisory committees.
* Maintains FINRAs official corporate tracking database in accordance with OCS requirements and corporate governance best practices, assuring the ongoing ability to access, edit, research, and accurately report data for ad hoc reports as required.
Updates departmental status reports regarding timing and progress of actions approved by and scheduled to be presented to the Board.
Trains and oversees OCS staff, as well as staff from other FINRA departments in using and properly updating the corporate tracking system using corporate governance best practices to maintain information in the database.
* Performs legal and other research on regulatory and governance issues raised under federal securities regulations, Delaware corporate law, FINRA rules and by-laws, corporate governance best practices, and Board policies and procedures.
Presents research results orally and in-writing.
* Regularly responds to inquiries from other departments, member firms and the general public requiring substantial understanding of FINRA by-laws, FINRA election procedures, relevant corporate Delaware law and corporate governance guidelines.
* Assists Associate Director of Corporate Governance in complying with internal and external requests, including requests from the SEC and Internal Audit by organizing and compiling the relevant documents.
Other responsibilities:
* Assists Associate Director of Corporate Governance with updating departmental procedures and training other department staff.
Serves as a mentor for less experienced staff and trains and supervises more junior and temporary staff.
* Keeps management updated on notable trends in industry and corporate governance practices and procedures.
* Assist in maintaining OCS SharePoint sites used for corporate-wide distribution of OCS information (such as board meeting schedules, templates and materials) and for submission of board material.
* Other tasks and special research projects, as assigned.
Education/Experience Requirements:
* Bachelors degree and either a paralegal certificate or relevant FINRA experience or equivalent paralegal experience required.
* Proven ability to handle sensitive business information with discretion and confidentiality.
* Strong planning, organizational and problem solving skills, as well as excellent interpersonal and written communication skills required.
* Excellent proofreading, editing and analytical skills.
* Experience in legal research, including use of Lexis-Nexis or Westlaw required.
Expertise in using CRD and the FINRA Contact System, preferred.
* Able to work both independently and in conjunction with others.
* Competence in the use of desktop computers with the full suite of office software applications including Excel, Access, PowerPoint, and SharePoint.
* A minimum of five years of directly related experience.
Substantial knowledge of FINRA rules, by-laws, federal securities laws and relevant corporate laws and/or member firm operations.
* Supervisory experience preferred.
Advanced Degree in business, law or other relevant area preferred.
Working Conditions:
* Normal office conditions.
* Extended hours and some travel are required.
To be considered for this position, please submit a cover letter and resume.
A writing sample may be required as part of the submission.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site, enter http://www.finra.org/careers
into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRAs accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
Important Information
FINRAs Code of Conduct imposes restrictions on employees investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
All of those accounts are subject to the Codes investment and securities account restrictions, and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
As standard practice, employees must also execute FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys policy on nepotism.
About FINRA
FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SECs oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRAs independent regulation plays a critical role in Americas financial systemall at no cost to taxpayers.
FINRA touches virtually every aspect of the securities businessfrom registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.
In today’s fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.
Find out more about us and how we workand view our current openingsat http://www.finra.org/careers.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the persons relatives, friends or associates.
FINRA abides by the requirements of
41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of
41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
©2018 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
San Francisco HR Trands & Jobs 